Reference Check Guidelines

Conducting a background or reference check to obtain information about past performance from supervisors, peers, or other references is an essential step in the recruitment process. UW-Milwaukee uses an automated reference checking program called SkillSurvey, a web-based global reference tool designed to provide complete and timely reference feedback on candidates. This information assists in the selection process by providing insight into a candidate’s strengths and developmental needs, which can also be beneficial during the onboarding process. Hiring without conducting these checks could lead to institutional liability for negligent hiring if the employee’s past performance, dangerous characteristics, or actions, are deemed to pose a risk.

UW System Administrative Policy 1275 states Reference and Misconduct checks must be done prior to the start date. If the respective checks are not completed prior to hire, the following contingency language is to be added to employment agreements:

This offer of employment is conditional pending the results of a criminal background check and a reference check process that includes questions regarding employee misconduct, sexual violence and sexual harassment. If you have prior work history within the past 7 years with Universities of Wisconsin, your personnel file will also be reviewed for employee misconduct. If the results are unacceptable, the offer will be withdrawn or, if you have started employment, your employment will be terminated.

The following are types of employment checks to help managers and unit leaders make informed hiring decisions.

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Professional Reference Checks

All UWM Schools, Colleges, and Divisions must use SkillSurvey for pre-hire professional reference checks for the following employment categories: University Staff (ongoing and project), Academic Staff, and Limited Appointments not recruited through an Executive Search Firm. Recruitments for Faculty must include a professional reference check as part of the selection process, but use of SkillSurvey is not required.

General Reference Check Requirements

Checking multiple references demonstrates that reasonable care was used in the hiring process. Information obtained from references is useful in evaluating a candidate’s skills, training, experience, and ability to perform position duties. Obtaining multiple references allows supervisors to look for consistency among references.

Due to their direct knowledge of work performance, candidates should be directed to provide professional references when possible. Examples include:

• Former or current supervisors
• Co-workers
• Clients/customers
• Anyone who has worked directly and most recently with the applicant who can comment on the applicant’s performance

A minimum of three professional references, including at least one Supervisor/Manager, must be provided as part of the professional reference check. It is not required that the supervisory reference be a current supervisor, though it must be someone who has directly supervised the applicant in the last two years.

For new graduates with limited employment history, teachers or professors who have observed their work on a project or internship, a volunteer program leader who has observed performance, or other similar people familiar with the candidate may be used.

Exemptions from the Professional Reference Check Requirement

Employees being hired at less than 50% FTE or less than six months are exempt from the professional reference check (but are still required to have a misconduct check, per below).

Internal transfers within UWM may bypass the professional and misconduct checks.

• Supervisors are encouraged to review the personnel file prior to extending an offer.

With appropriate documentation, individuals hired into entry level roles (defined as those in salary grades 15 and 16) may be excluded from the professional reference check requirement.

• This exception does not extend to candidates being hired into a Position of Trust with access to vulnerable populations (POT 2 or 4) who must have all references respond to the requests.

If obtaining three references is not possible, hiring managers may request a waiver for the process.

• Requests should be sent to the CHRO or designee and address factors such as the level and permanence of the position, level of direct supervision under which the employee will work, and other relevant criteria for consideration.
• If waived from using SkillSurvey, another type of reference must be substituted (i.e., phone or letter of recommendation) and the information obtained from the reference must be documented in the recruitment file. An email summarizing a phone conversation by the staff person making the reference check would be an acceptable example of reference documentation.
• If a finalist is hired in these circumstances, the decision and reasons must be documented within the recruitment file. Notes taken and stored in the recruitment file about the candidate are to be factual and objective.

Misconduct Reference Check (MRC)

Misconduct checks must be performed or on file, at a minimum, for all final candidates prior to hire UW-Milwaukee must ensure that finalist references are asked whether the candidate has been found to have engaged in, is currently under investigation for, or left during an active investigation in which they were accused of any employee misconduct. sexual violence, or sexual harassment.

According to UW System Administrative Policy 1275, misconduct is defined as:

Shall include findings with respect to sexual harassment, sexual violence, other types of violence, or harassment; workplace bullying, research misconduct; financial fraud or fiscal misconduct; foreign influence violations; grant misuse or grant misconduct; and/or any other type of finding or pending investigation relating to a candidate’s employer’s policies and rules governing faculty or staff conduct that may reasonably be expected to affect a candidate’s appointment.

A Misconduct Reference Check is required for the following positions:

• Faculty
• Academic Staff
• Limited Appointment
• University Staff (including Temporary University Staff)

Misconduct Reference Checks will be conducted in SkillSurvey.

• Check is automatically included as part of the professional reference check when conducted in SkillSurvey.
• Misconduct Reference Check must be initiated separately when the professional reference check is conducted external to SkillSurvey.
• Misconduct Reference Checks may also be required to comply with the Youth Protection Policy.

Results of the Misconduct Reference Check must be provided to the Compliance Specialist for review upon completion.

• Misconduct assessment will be completed concurrently to the background check request.
• Where there is sexual misconduct reported, UWM’s adjudication committee of the CHRO and Chief Legal Counsel must be invoked to review results and provide advisement on whether the misconduct is a disqualifying action.

Personnel File (P-File) Review

A Personnel File (“P-File”) is the official employment record for anyone who has held an appointment within the Universities of Wisconsin.

A P-File review is required for any individual who has worked within the Universities of Wisconsin in the previous seven (7) years to check for misconduct (See Section 6B in UW System Administrative Policy 1275).

Process

• A P-File review for current/recent UW employees will be initiated at the time of the background check request.
• P-File review is not required for active UWM employees being hired into a different role at UWM.
• The initiator of the background check request will identify the date of last UW employment and most recent UW employer.
• UWM’s Compliance Specialist is responsible for requesting P-File content from other UW schools and providing results to appropriate parties.
• HRBP’s are responsible for requesting P-File content from other state agencies upon hire, in accordance with SYS 1261: Personnel Files.
• If sexual misconduct is noted for incoming employee(s), the file(s) should be escalated to the Chief Human Resources Officer (CHRO) and Chief Legal Counsel.